How to file an annual confirmation

Get help to complete your annual confirmation online

You must file your annual confirmation online in the month you've nominated. We'll send you an email reminder when this is due. It costs $75 (plus GST) to file a confirmation and you must also pay Financial Markets Authority (FMA) levies for the financial services you provide.

Information you need to confirm or update

Before you start your annual confirmation, check the information that you need to confirm or update.

General details

Confirm that your trading name and addresses are still correct, including your FSP's:

registered office address

business address — the physical address that you provide financial services from

address for communication, and

email address.

Note

If you're a NZ-Registered Entity and need to update your registered office or directors' addresses, change them on the Companies Office register that you're registered on (for example, the Companies Register) before you start your annual confirmation. The changes you make only show on the FSPR the next working day.

FMA details

You only see this section if you're already authorised or licensed, or applying to be authorised as an AFA or licensed as a QFE.

Directors, controlling owners and senior managers

Check that the information about the people involved in your FSP is correct, including their:

full legal name, and any other names they're known by or have been known by previously

date of birth and gender

residential address.

We may need to carry out a new criminal history check if you change the name or date of birth of a director, controlling owner or senior manager. Your annual confirmation can't be completed until the results of the criminal history check have been returned to us from the Ministry of Justice.

Other changes (eg, addition of directors) needs to be confirmed and submitted by an authorised user of the FSPR before they're updated. In this case, you will receive an email and a new item — a Companies refresh task — appears in My unfinished business on your dashboard.

search for your FSP, view its details and select the link to File annual confirmation in the orange box.

To file your annual confirmation, follow these steps.

Select the Review tab to check the details we hold for:

your general details

financial services you provide

Dispute Resolution scheme (DRS)

directors, controlling owners and senior managers

FMA levies.

If the information for a section is correct, select Confirm as correct. If you need to update the information, select Change details.

After you've updated your details, confirm the information you have provided is true, correct and complete, and then select Proceed to review to continue filing your annual confirmation.

Go to the FMA levy tab and select all the services that apply to your FSP. These determine the levies you need to pay. If you make an error, select Clear all at the bottom of the page to reset your selection.

When you've updated all the details and confirmed them, read the declaration about disqualification at the bottom of the Review page and select the confirmation option that applies to you. Then select Continue. The status of your declaration changes to Confirmed.

Select Submit and pay. The relevant fees are listed. Choose a payment option and complete the tax invoice details and other information.

Select Process payment.

We confirm that we've processed your annual confirmation and send a tax invoice by email.

Dispute Resolution Schemes (DRSs)
2 guides

If you provide financial services to retail clients, you must join a DRS within 10 working days of registering and keep your membership details up to date on the Financial Service Providers Register (FSPR).